Richard Linn Financial Disclosure Report for 2010

8/3/2019 Richard Linn Financial Disclosure Report for 2010

1/18

FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r st , m i d d l e i n i t i a l)Linn, Richard

4. Title (Article Ill judges indicate active or senior status;magistrate judges indicate full- or part-t ime)

U.S. Circui t Judge - Active

7. Chambers or Office AddressU.S . C o u r t o f App ea ls7 1 7 M adis on P lace , N.W.Was h ing ton , DC 20439

2. Court or Organizat ionU.S . Cour t of Ap pea ls , Fed Cir

3. Date of Report05/14/2011

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.

6. Repor t ing Per iod01101/2010

to12/31/2010

Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m c p o n i n g individual only; see pp. 9-1 3 of fi l ing instructions.)~ (No reportablepositions.)O NE

1. M e m b e r

2. Past-President3. M e m b e r4. Vis i ting Mem ber5.

POSITION NA ME O F O RG A NIZ A T IO N/E NT IT YI n te l l ec tua l P r ope r ty Adv is or y Boa r d , Geor ge Was h ing ton U nive r s i ty L awS c h o o lT h e Gi le s S . R ich Am er ican I nn o f Cour t

T h e R ich a r d L inn Am er ican I nn o f Cour tT h e Hon . Wi l l i am C . Conne r Am er ican I nn o f Cour t

I I . A G R E E M E N T S . ~ R e p o n i n g i n d i v id . a l o .l y ; se ~ p p . 1 4 - 1 6 of filing instructions.)~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERM S


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FINANCIAL DISCLOSURE REPORTPage 2 o f 9

N a m e o f P e r s o n R e p o r ti n gLinn , R ichard

D a t e o f R e p o r t05/14/2011

I I l . N O N - I N V E S T M E N T I N C O M E . t R e p o . i n g i n d i v i d u a l a . d s p o u s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Fil er s Non-Inves tm ent Income

~] (No reportable non-investment income.)ONEDATE SOURCE AND TYPE I N CO ME

( y our s , no t s pou s e s )

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - if you were married daring anyportion of the reporting year, complete this section.(Dolla r amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DA T E SO U R C E A ND T Y PE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmenL(Includes lhose to spouse and dependent children." see pp. 25-27 of filing instructions.)

D (No reportable reimbursements.)ONESOURCE D A T E ~ S LOCATION PURPOSE ITEMS PAID OR PROVIDED

1. T he B en Fra nklin Am er icn Ja nu ary 12, 2 010 Philadelphia, PA Inn o f C ou rt D inne r T ransp or ta tion an d M ea lsIn n o f Co u r t2. T h e Hon . Wi l l i am C . Conne r January 19-20, 2010 N e w Y o r k , N Y I nn o f Cour t D inne r Transporta t ion, Meals, and Hote lAm er icn Inn o f Cour t3. New Y or k I n te l l ec tua l March 25-28, 2010 N e w Y o r k , N Y A n n u a l J u d g e s D i n n e r Transpor tat ion, Meals , and HotelProper ty Law Association4. The Seatt le Intel lectual Apri l 15-18, 2010 Seatt le , WA In n o f C ou rt M eetin g T ra nsp or ta tio n, M eals, an d H ote lP ro p e r ty A m e r i c n In n o f

Cour t5. T h e R ich a r d L inn Am er ican May 13-15, 2010 Ch icago , I L I nn o f Cou r t M ee t ing Transporta t ion

In n o f Co u r t


3/18

FINANCIAL DISCLOSURE REPORTP a ge 3 o f 9

N a m e o f P e r s o n R e p o r t in gLinn , Richard

D a t e o f R e p o r t05/14/2011

6. New Jersey In tellec tu al Jun e 4-5, 2010 Short Hills , NJ Annual Judges Dinner Transporlation, Meals, and HotelProper ty Law Association7. The Richard Linn Amer ican June 11-13, 2010 Chicago , IL In n o f C ou rt D in ne r T ran sp ortatio n, M ea ls, an d H otelIn n of Court8. The Federa l C i rcu it Bar June 25-27, 2010 Colorado Spr ings , CO Bar Assoc ia t ion Mee t ings Transportation, Meals, and HotelAssociation9. T he A ustin In tellec tua l Sep tem ber 12-14 , Austin, TX I nn o f C ou rt M ee ti ng T ra ns po rta tio n, M ea ls , a nd H ote lProper ty Amer ican Inn of 2010CourtI0 . T he In te llectua l Prop erty and Sep tem ber 22-23, A lban y, N Y Inn o f C ou rt M eeting T ransp o rtation , M ea ls, and H otelInnovat ion Am er ican Inn o f 2010Cour tI I . T h e R i c h a rd L i n n Am e r i ca n O c t ob e r , 1 4 - 1 6 , 2 0 1 0 Ch i c a go , I L Inn of Cour t Mee t ing TransportationInn of Court


4/18


N a m e o f P e r s o n R e p o r t in gLinn, Richard

Date of Report05/14/201 I

V . G I F T S . ( i n ~ u d e s ,hose to spouse and depende nt children; see pp. 28-31 of filing instructions.)D N O N E ( N o reportable g ifts.)

S O U R C E DESCRIPTION

3.

4.

5.

New York In te l lec tua l Proper ty LawAssoc ia t ion Steuben Glass Dist inguished Service AwardVALUE

$1,245.00

V I . L I A B I L I T I E S . ( Includes those of spouse an d dependent chi ldren; see pp . 32-33 of f i l ing instruct ions0NONE (No reportable liabilities.)

C R E D IT O R DE SC R IPT IO N1.

2.

3.

4.

5.

V A L U E C O D E


5/18


N a m e o f P e r s o n R e p o r t i n gLinn , Richard

Date of Report05/14/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in com e , va/ae, t ransact i ons ( Incl udes t h ose o f spouse and dep endent ch i l dren; see pp . 34-60 o f f i li ng i ns t ruct i on~)NONE (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing Gross value at end Transactions during reporting period

(including trust assets) rep orting p erio d of rep ortin g p eriod(I) (2) (l) (2) (I ) (2) (3) (4) (5 )

Place "(X)" after each asset A m ou nt T yp e (e .g., Value V alue Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, m m/dd/yy Code 2 Code 1 buyer/seller(A-H) o r i n t . ) (J-P) Code 3 redem ption) (J-P) (A-H) (if private

(Q -W) transaction)

I. Cash Equiva lent Account # 3 A Interest J T2. Brokerage Accoun t # 73. - Amer ican Funds: AMCAP Fund Class

529A4. - Am er ican Funds : EuroPacif i c GrowthFund Class 529A5. - Am er icanFunds : Washing ton MutualInvestors Fund Class 529A6. Brokerage Accoun t # 9

A Dividend J TA Dividend J TA Dividend J T

8.

9.1 0 .

1 1 .

- Amer ican Funds: AMCAP Fund Class529A A D iv id en d J T- Am er ican Funds : EuroPacif i c GrowthFund C lass 529A A Dividend J T- Am er icn Funds: Wash ington Mutua lInvestors Fund Class 529A A D iv id en d J T- Am er icanFunds: In te rmedia te Bond Fundof Am er ica CI . 529A A Dividend J TBr oke r age Accoun t # 1 0

1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

- Amer ican Funds: AMCAP Fund Class529A A Dividend J T- Am er ican Funds : EuroPacif i c GrowthFund Class 529A A Dividend J T- Am er ican Funds:Wash ington Mutua lInvestors Fund Class 529A A Dividend- Am e r i c an F u n d s : In t e rm e d i a te Bo n d F u n d Aof Am er ica CI . 529A Dividend

Brokerage Account # 111 7 . - Amer ican Funds: AMCAP Fund Class A Dividend529A

(See Columns B I and IM) F =$50,001 - $100,000 G =$100,001 - $1,000,0902. Value Codes J =$15,000 or less K = $15,001 - $50.0~0

(See Colum ns CI and D3) N = $250,001 - $500,000 O = $500,001 - $ 1 , 0 0 0 , 0 0 0P3 =$25,000,001 - $50,000,0003. Value M ethod C odes Q = A ppraisal R = C ost (R eal Estate Only)

(Se e Column C2 ) U = B ook Value V =Othe r

C =$2,501 - $5,000HI =$1,000,001 - $5.000,000L =$50,001 - $100,000P I =$1,000,001 - $5,000,000P4 =More than $50,000,000S = A ssessmentW = Est imated

D =$5,001- $15,000H2 =More lhan $ 5,1~0,000M=$100,001- $250,000P2=$5,090,001- $25,0~0,000T =~ a s h M a rk e t

E =$15,1001 - $50,000


6/18


N a m e o f P e r s o n R e p o r t in gLinn , Richard

Date of Report05/14/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e , v a lu e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~ N O N E ( N o reportable income, a ssets, or transactions.)

A. B. C.D e s c r i p t io n o f A s s e t s Incom e during Gross value at en d( i n c l u d i n g t r u s t a s s e t s ) r e p o rt i n g p e r i o d o f r e p o rt i n g p er i o d

(I) (2) (l) (2)Place "(X)" after each asset A m o u n t T y p e ( e . g ., Value Valueexempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q -W )

Transactions during reporting period(1) (2) (3)T y p e ( e . g. , D a t e Value

b u y , s e l l , m m / d d / y y C o d e 2redemption) ( J - P )I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

1 8 .

1 9 .

20 .21 .22 .23 .24 .25 .26 .27 .28.

29 .30.

31.

32 .

33.34 .

- Am er ican Funds: EuroPac i fic GrowthFund Class 529A A Dividend J T- Amer ican Funds:Wash ington Mutua lInvestors Fund Class 529A A Dividend J T- A m e r ic a n F u n d s : I n t e rm e d i a te B o n d F u n d Aof Am er ica CI . 529A

Dividend J TBrokerage Account # 13- Amer ican Funds Growth- Income Separa teAccount- Am er ican Funds Growth Separate Account- T . Ro we Pr ice Large Cap Growth Por t fo l ioSepara te Account- MFS V alue Por t fo l io Separa te Account(See note )- Ru sse l l 2000 Index Por t fo l io Separa teAccount- Attio Intl Stock Portfolio Separate Acct(See note )Neuberger Berman G enesis Por t fo l io

None Sold

N o n e M T Bu y(addl)None SoldN o n e SoldNone SoldNone M TN o n e K T Bu y

08/16/10 L08/16/10 L08/16/10 M08/16/10 L08/16/10 L

08/16/10 KDavis Venture Va lue Po r t fo l io N o n e N Bu y 08/I 6/10 MClar ion Globa l R ea l Es ta te Por t fo l io None K T Bu y 08/16/10 KBr oke r age Accoun t # 1 4

- C la r ion Globa l R ea l Es ta te Por t fo l io Sep .Acc t (See note )- MetLife S tock Index Por t fo l io Separa teAccountT. Row e Pr ice Smal l Cap Grow th Por t fo lio

N o n e

NoneNone

Sold 08/16/10 K

Sold 08/16/10 LBu y 08/16/10 K

Ii Ine0me Gain Codes: A = $1,000 or less(Se e Columns BI a nd IM) F =$50,001 - $100.000

2. Value Codes J =$15,000 or less(Se e Columns CI a nd D3 ) N =$250.001 - $500,000

P3 =$25.000.001 - $50.000,0003. Value Meth~:l Codes Q = A ppra isa l(S ee C olunm C 2) U =Book Valuc

=$~;oo~ ;$2,506 = $ 2 ; 5 o ~ : $ 5 , 0 0 0=$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000=$ 15.001 - $50,000 L =$50.001 - $ 100,000= $ 5 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 P I =$ 1,000,001 - $5,000,000P4 =More than $50,000,000=Cost (Real Eslale Only) S = A ssessment=Other W = Est imated

D =$5,001 - $15,000H2 =More than $5,000,000M =$100,00l - $250,000P2 =$5,000,001 - $25,000,000T =Cash Market

E =$15,001 - $50,000


7/18


N a m e o f P e r s o n R e p o r t i n gLinn, Richard

D a t e o f R e p o r t05/14/201 !

V I I . I N V E S T M E N T S a n d T R U S T S - income , value, transac tions (Includes those o f spouse and dependent children; see pp. 34-60 of fding instruction &)~-~ (No reportable income, assets , or transactions.)ONE

A. B.D e s c r i p t io n o f A s s e t s In c o me d u r in g G r o s s v a l u e a t e n d

( i n c l u d i n g t r u s t a s s e t s ) repotling period o f r e p o r t i n g p e r i o d(l) (2) (1) (2)

Place "(X)" after each asset A m o u n t Type (e.g., V a l u e V a lu eexempt from prior disclosure Code I die., rent, C o d e 2 M e t h o d( A - H ) or int . ) (J-P) C o d e 3

T r a n s a c t i o n s d u r i n g ~p o r t i n g p e r i o d

( 1 ) (2) O)T y p e ( e . g ., D a t e Valuebuy. se l l . m m / d d / y y C o d e 2r e d e m p t i o n ) ( J - P )

(4 ) (5)Gain Identity of

Code 1 buyer /sel ler( A - H ) (if private

3 5. T , R o w e Pr ic e M i d Ca p G r o w t h Po r tf o li o None K T3 6. Neuberger Berman M id Cap Va lue None K T3 7. Ca s h E qu iv a le n t A cc o u nt # 15 A I n t e r e s t J T

B u yB u y

08/16/10 K

08/16/10 KL

I. Income Gain Codes:(Se e Columns BI a nd D4)

2. Value Codes( s e e Columns CI a nd D3 )

3.Value Method Codes(Se e Column C2 )

F = $50.001 - $100.000 G = Sl00,001 - $1.000,000J = $15.000 or less K = $15,001 - $50,000N =$ 250,001 - $500,000 O =$500,001 - $1,000,000P3 = $25,000,001 - $50,000,000Q = A ppra isa l R =Cost (Real Estate Only)U =Book Value V =O~her

C =$2,501 - $5,000H , = S , ,0 0 0 , o o , -L =$50.001 - $100.000PI =$1,000,001 - $5,000,000P4 =More than $50,000.000S = A ssessmentW = Est imated

D =$5,001 - $15,000H2 =More than $5,000,000M =$100,00l - $250,000P2 =$5,000,001 - $25,000,000T =Cash Market

E =$15.001 - $50.000


8/18


Name of Person Repor t ingLinn, Richard

Date of Repor t05/14/2011

VII I . AD D ITIONAL INFORMATION OR EX PLANATIONS. (lndicatepartofrepor~)


9/18

FINANCIAL DISCLOSURE REPORTPage 9 of 9

Name of Person Repor t ingLinn, Richard

Date of Report05/I 4/201 I

IX. CERTIFICATION.I c e r t ify t h a t a ll i n fo rm a t i o n g i v e n a b o v e ( i n c l u d i n g i n fo rm a t i o n p e r t a in i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

accura te , t rue , and comple te to the bes t o f my knowledge and be l ie f , and tha t any informa t ion not reported was wi thhe ld because i t me t app l icab le s ta tu toryp ro v i s i o n s p e rm i t ti n g n o n -d i s c lo s u re .I fu r t h e r c e r ti fy th a t e a rne d i nc om e f rom o u t s i de e mp l oyme n t a nd h onora r i a a nd t h e a c c e p t a nc e o f g i f t s wh i c h h a ve b e e n re por t e d a re i nc om p l i a nc e w i t h t h e p rov i s i ons o f 5 U . S . C. a pp . 501 e t . se q , 5 U. S . C. 7 353, a nd Jud i c i a l Confe re nc e r e gu l a t i ons .

Si~atu re: s /Richar d Linn

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S I F IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

Co m m i t te e o n F in a n c ia l D is c lo s u reAdm inis t ra t ive Off ice o f the United Sta tes Cour tsSui te 2-301One Columbus Circ le , N.E.Wash ington , D.C. 20544


10/18

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i t ia l )Linn, Richard

4. Title (Article !11 judges indicate active or senior status;magistrate judges indicate full- or part-time)

2. Court or O rganizat ionU.S. Cour t o f Appeals , Fed Ci r

5a. Repor t Type (check appropr ia te type)] Nominat ion, D a t eU.S. C ircu i t Judge - Ac t ive

7 . C hamber s o r O f f i ce A ddr es sU.S . C our t o f Ap p ea l s717 M adison Place , N .W.W a s h i n g t o n , D C 2 0 4 3 9

[] Initial [] Annual [] Final5bo [] Amended Report8. On the bas i s of the informat ion conta ined in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions .

R ev iew in g O ff icer Date

3. Date o f R e p o r t08/20/201 I

6. Repor t ing Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be foilowecL Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m , p o , i n g individual only; seepp. 9-13 of f il ing instructions.)D (No reportablepositions.)ONE

NAME OF O R G A N I Z A T I O N / E N T I T Y1 . M e m b e r I n t e l le c t u a l P ro pe r t y A d v i so ry Bo a rd , G e o rg e W a sh i n g t o n U n i v e r s i t y L a wS c h o o l2. P as t -P r e s i den t Th e G i l e s S . R i c h A m e r i c a n I n n o f C o u r t

3. M e m b e r T h e R ic h ard Lin n A m erica n In n o f C o u rt

4. V i s it i n g M e m b e r Th e Ho n . Wi l l i a m C . C o n n e r A m e r i c a n In n o f C o u r t

5.

P O S IT IO N

I I . A G R E E M E N T S . ( R e p o ~ t in ~ i ,a i v ia u a l o n l y ; s e e ~ , ~ ,. 1 4 - 1 6 of fillng insfructlons.)1-~ N O N E (No reportable agreemen ts.)

DATE PARTIES AND TERMS


11/18


N a m e o f P e r so n R e p o r t i n gLinn , R icha rd

D a t e o f R e p o r t08/20/2011

l l I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-Inve stmen t Income~] (No reportable income.)ONE non-investment

D A T E SO U R C E A N D T Y PE I N C O M E(yours , not s p ou s e s )

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - If you were m arried during any portion of the reporting year, comp lete this section.(Dollar a m o u n t not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmenL( Includes those to spouse and depend ent chi ldren; see pp. 25 -2 7 of f!l ing ins t ructions . )

~-] N O N E (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED1 . T h e Be n F ra n k lin A me ricn Jan ua ry 1 2, 2010 P h ila de lp h ia , P A Inn o f C ou rt D in ne r T ransp or ta tio n a nd M ealsInn of C our t2. T h e H o n . W i l l ia m C . C o n n e r January 1 9-20, 20 I0 N ew Y or k , N Y Inn o f C ou rt D in ne r T ransp or ta tio n , M e als, an d H ote lA m e r i c n In n o f C o u r t3. N e w Y o r k I n t e l le c t u a l M arch 25 -28 , 2010 N e w Y or k , N Y A n n u a l J u d g e s D i n n e r Tr anspor ta t ion , M eals , and Hote lProp er ty Law A s s oc ia t ion4. The Se at t l e In te l lec tua l Apr i l 15 -18 , 2010 Seat t l e , WA In n o f C ou rt Me etin g T ra nsp or ta tio n, Me als, an d H ote lPr oper ty Amer icn Inn o fC o u r t5. T h e R i c h a r d L i n n A m e r ic a n May 13 -15, 2 0 10 Chicago, IL Inn o f Cour t M eet ing Transportat ionInn of C our t


12/18


N a m e o f Person Report ingLinn , Richard

Date of R e p o r t08!20/2011

6. N ew Jersey Intellectual June 4-5 , 2010 Short Hills, NJ Annual Judges Dinner Transportation, Meals, and HotelProperty Law Associat ion7. The R ichard Linn Am er ican June 11 -13 , 2010 Chicago, IL Inn of Cour t Dinner Transportation, Meals, and HotelInn of Court8. The Federal Circuit Bar June 25-27, 2010 Colorado Spr ings , CO Bar Associat ion Meetings Transportation, Meals, and HotelA s s o c i a t i o n9. The A ustin Intel lectual September 12-14 , Austin, TX In n o f C ou rt Me etin g T ra ns po rtatio n, Mea ls, an d Ho te lProper ty Amer ican Inn of 2010Court1 0 . T h e In t e ll e c tu a l P r o p e rty an d S e p te m b e r 22 -23 , A lbany , N Y Inn of C ourt M eeting Transportation, M eals, and HotelInnova t ion A mer ican Inn of 2010Court1 1 . The R ichard Linn Am er ican O c tober , 14 -16 , 2010 Ch icago , IL Inn of Court Meeting Transporlat ionInn of Court


13/18


N a m e o f P e r s o n R e p o r t in gLinn, Richard


V . G I F T S . ( Includes those to spouse and d ependent children; seepp. 28-31 of f i l ing ins truct ions .)D N O N E ( N o reportable gifts .)

S O U R C E D E SC R IP T IO N

3.

4.

5.

N ew Yor k In te l l ec tua l Pr oper ty LawAssocia t ion Steuben Glass Dis t inguished Se rv ice AwardV A LU E

$1,245.00

V l . L I A B I L I T I E S . a n d .d e s t h o s e o l s p o u s e and dependent children; see pp. 32-33 of f i l lng instructions)N O N E (N o reportable liabilities.)

C R ED IT O R D E SC R IPT IO N1.

2.

3.

4.

5.

VALUECODE


14/18


N a m e o f P e r s o n R e p o r t in gLinn , R i chard

D a t e o f R e p o r t08/20/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , t r a n s a c t io n s a n a . d e s t h o s e o l s p o . se a n d dependent chi ldren; see p p . 3 4 - 6 0 of filing instruction&)[ ~ ] NONE (N o repor tab le income, as se ts , or transac t ions . )

A. B. C.D e s c r i p t io n o f A s s e t s Income during Gross value at e n d

(including trust assets) r e p o rt i n g p er i o d o f r e po rt i n g p er i o d(1) (2) (1) (2)

Place "(X)" after each asset A m o u n t Type (e.g., Value Valueexempt from pr ior d isclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

Transactions during reporting period(1 ) (2) (3) (4)T y p e ( e . g ., D a t e Value G a i n

buy, sell, m m / d d / y y C o d e 2 C o d e 1r e d e m p t i o n ) ( J - P ) ( A - H )

( 5 )I d e n t i t y o fbuyer/seller( i f p r i v a t e

t r a n s a c t i o n )

3.

4.5.6.

7.

8.

9.1 0 .

I1 .1 2 .

1 3 .

1 4 .

1 5 .

1 6 .1 7 .

B a n k o f A m e r i c a C a s h E q u iv a l e n t A c c o u n t A Interest J TBro k e ra g e A c c o u n t # 7

- A m e r i c an F u n d s : A M C A P F u n d C l a s s A Dividend J T529A- Am er ican Funds: EuroPac i f lc Growth A Dividend J TFund Class 529A- Amer icanFunds : Wash ing ton M utual A Dividend J TInves to r s Fund Class 529ABrokerage Account # 9- Amer ican Funds : AM CAP Fund Class A Dividend529A- Am er ican Funds : Eur oPacif ic Gr owthFund Class 529A Dividend- Am er icn Funds : Wash ing ton M utualInves to r s Fund Class 529A Dividend- Am er icanFunds : In ter med ia te Bond Fundof Amer ica CI . 529A DividendB r o k e r a g e A c c o u n t # I 0- Amer ican Funds : AM CAP Fund Class A Dividend529A- Amer ican Funds: EumPac i f ic GrowthFund Class 529A Dividend- Amer ican Funds :Wash ing ton M utualI n v e s t o r s F u n d C l a s s 5 2 9 A Dividend- Am er ican Funds : In ter med ia te Bond Fundof Amer ica CI . 529A Dividend

Br oker age Accoun t # 1 !- Amer ican Funds : AM CAP Fund Class A Dividend529A

(See C o lu mn s B I an d I M) F =$50,001 - $100,000 G =$1 00,001 - $1,0~0,000 H I --$1,000,001 - $5,000,0002. Value Codes J =$15,1)00 or less K =$15,001 - $50,0~0 L = $ 5 0 , 1 ) 0 1 - $ I

(S ee Co lu m ns C I an d D3) N =$25 0,001 - $500,000 O =$5 00,001 - $1,00~ ,000 P l =$1,000,001 - $5,000,000P3 =$25,000,001 - $50,000,000 P4 =M ore than $50,000,0003. Value Method Codes Q =A p p r a i s a l R =Cost (Real Estate Only) S = Asse ssmen t

(See Col um n C2) U =Book Value V =Ot her W = Es t ima ted

D=$5,001 - $15,000H2 =More than $5,000,000M=$100,001- $250,000P2=$5,000,001- $25,000,000T = C ash Mark e t

E =$15,001- $50,000


15/18


N a m e o f P e r s o n R e p o r t i n gLinn , Richar d

D a t e o f R e p o r t08/20/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m e , v o ~ a e , t r a n s a c t io n s (Includes those of s p o u s e a n d d e p e n d e n t chi ldren; see p p . 3 4 - 6 0 of filing instructions,)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s a t s Income during( i n c l u d i n g t r u s t a s s e t s ) r ~ p o r t in g p e r i o dO) (~)Place "(X)" after each asset A m o u nt T y pe (e . g . ,exempt from pr ior d isclosure Code i d i v . , r e n t ,

( A - H ) o r int.)

Gros s v a l ue a t e n do f r e p o r t i n g p e r i o d(i) (2)Value ValueC o d e 2 M e th o d

0-P) C o d e 3( Q - W )

O)T y p e ( e . g . ,b u y , s e l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d( 2 ) ( 3 ) ( 4 )

D a t e Value Gainmm/dd/yy C ode 2 C ode I

(J-P) (A -H)

( 5 )I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

1 8 .

1 9 .

20 .21 .22 .23 .2 4 . .

25 .26 .27 .28 .29 .

30 .31 .

32 .

33 .34 .

- Am er ican Funds : Eur oPacif lc Gr owthFund Class 529A A Dividend- Amer ican Funds :Wash ing ton M utualInves to r s Fund Class 529A Dividend- Am er ican Funds : In ter med ia te Bond Fundof Amer ica CI . 529A

DividendBrokerage Account # 13- Amer ican Funds Growth-Income Sepa ra teA c c o u n t- A m e r i c an F u n d s G r o w t h S e p a r a t e A c c o u n t- T . Rowe Pr ice Lar ge Cap G r owth Por t fo l ioS e p a r a t e A c c o u n t- MFS Value Por t fo l io Sepa ra te Account(See note )- Russe l l 2000 Index Por t fo l io Separ a teA c c o u n t- Ar t io In t l S tock Por t fo l io Separ a te A cct(See note )Neuberge r Berman Genes is Por t fo l io

None Sold

N o n e M T Bu y( add l )N o n e SoldN o n e SoldN o n e SoldN o n e M TN o n e K T Bu y

08/16/10 L08/16/10 L08/16/10 M08/16/10 L08/16/10 L

08/16/10 KDavis Venture Va lue Por t fo l io N o n e N Bu y 108/16/10 MCla r ion Globa l R ea l Es ta te Por t fo l io N o n e K Bu y 08/16/10 KBrokerage Account # 14- Clar ion Global Re al Es ta te Por t fo l io Sep .Acc t (See note )- MetLife S tock Index Po r t fo l io Sepa ra teA c c o u n tT . Rowe Pr ice Sm al l Cap Gr owth Por t fo l io

N o n e

N o n eN o n e K

Sold 08/I 6/10 K

Sold 08/16/10 LBu y 08/16/10 K

(See C o lu mn s B I an d D 4 ) F = $5 0,001 - $100,000 G = $1 00,001 - $1,000,000 H I =$ ],000,00l - $5 ,000,0002. Valu e C o d es J = $15 ,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000

(See C o lu mn s C I an d D 3 ) N =$250,0{)1 - $500,000 O = $500,001 - $1,0~0,000 P I =$1,000,001 - $5,000,1)00P3 =$25,000,001 - $50,000,000 P4 =M ore than $50,000,0003. Value Method Codes Q =A p p r a i s a l R =Cost (Real Estate Only) S = Asse ssmen l

(See Col um n C2) U =Book Value V =Ot her W = Es t ima ted

D =$5,001 - $15,000H2 =More than $5,000,000M =$ 100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C ash Mark e t

E =$15,001 - $50,0~0


16/18


N a m e o f P e r so n R e p o r t i n gLinn, Richard

Date of R e p o r t08/20/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o ~ , e , ~ i .e , tr o n s ~ e t io . , a . e i ~ d e s t h o s e o l s p o , , s e ~nd dependent children; see p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )~] N O N E ( N o reportable income, assets, or transactions.)

A. B. C.D esc r ip tio n o f A ssc ts In c o m e d u r in g G ro s s v a lu e a t en d

( in c lu d in g tr u s t a s s e ts ) r e p o rt in g p e rio d o f r e p o r t i n g p e r i o d(i) (2) (i) (2)P l a c e " C A ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g ., Value Value

exempt from prior disclosure Code I div . , r en t . C o d e 2 M e t h o d( A - H ) or i nt . ) (J-P) C o d e 3( Q - W )

T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d

O) (2) (3)Type (e.g., Da te Valuebuy , se l l , mm/dd/yy C o d e 2

r e d e m p t i o n ) (J-P)Ga in

C o d e 1( A - H )

(5 )Identity of

buyer / se l l e r( i f p r i v a t e

t r a ns a c t ion)

35 .36 .

37 .

T, Rowe Price M id Cap Grow th Portfolio None K TNeuberger Berman Mid Cap Value None K T

M etLi fe Bank M oney M ar ket Accoun t A Interes t J T

B uy

B uy

08/16/10 K

08116/10 K

(See Col um ns BI and IM) F = $50,001 - $I00,000 G = $100,001 - $1,0~0.0~02. Value Codes J =$15,1)00 or less K =$15,001 - $50,000

(See C o lu mn s C I an d D 3 ) N =$250,001 - $500,000 O =$500,001 - $1,000,000P3 =$25,000,0OI - $50,000,0003. Value Method Codes Q =A p p r a i sa l R = C o s t (Rea l Es ta te On ly )

(See C o lu mn C 2 ) U =Book Value V = Olh c r

C = $2 , 5 0 1 - $5 , 0 0 0HI =$1,000,001 - $5,000,0~0L =$50,001 - $100,000P I =$ 1.000,001 - $5,000,000P4 =Mo re than $50,000,000S = Assc ssmen lW = Es t ima ted

D =$5,04)1 - $15,000H2 =More than $5,000,000M = $100,001 - $250,0001>2 =$5,000,001 - $25,000,000T = C ash Mark e t

E =$15,1)01 - $50,000


17/18


Na m e o f Pe r son Re por t i ngL i n n , R i ch a rd

Date of Repor t08/20/2011

V II I. A D D IT I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . tln,tlcatepartofrepor~)Vil , A, 1 The desc r ip t ion of the a sse t has been amend ed to ident i fy the name of the bank.Vil , A, 37 The desc r ip t ion of the a sse t has been amended to ident i fy the name of the bank.


18/18


N a m e o f P e r s o n Re po r t in gLinn, Richard


IX. CERTIFICATION.1 c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u re .I f u r th e r c e r t i f y t h a t e a rn ed in co m e f ro m o u t s i d e em p l o y m en t an d h o n o ra r i a an d t h e accep t an ce o f g i f t s w h i ch h av e b een r ep o r t ed a r e inc o m p l i a n c e w i t h t h e p r o v i s io n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n fe r e n c e r e g u l a t i o n s .

Signature: S/Richard L i n n

N O T E : A N Y I N D I V I D U A L W H O K N O Y V I N G L Y A N D W I L F U L LY F A L S I FI E S O R F A I L S T O F I LE T H I S R E P O R T M A Y B E S U B J E C T T O C I VI LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 04 )

C om m i t t e e on F i na nc i a l D i s c l o s u r eAdm i n i s tr a t ive O f f i c e o f t he U n i t e d S t a te s C o u r t sSui te 2-301O n e C o l u m b u s C i rc l e , N . E .W a s h i ng t on , D .C . 2 0 544

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Richard Linn Financial Disclosure Report for 2010